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CSI CSC1 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Equity Transactions | 10% | - Trading Equities
|
| Derivatives | 10% | - Derivative Instruments
|
| Financing and Listing Securities | 8% | - Security Issuance
|
| Features and Types of Fixed-Income Securities | 12% | - Fixed-Income Instruments
|
| Corporations and their Financial Statements | 8% | - Financial Statement Analysis
|
| The Canadian Investment Marketplace | 15% | - Canadian Regulatory Environment
|
| The Economy | 13% | - Macroeconomic Fundamentals
|
| Common and Preferred Shares | 13% | - Equity Securities
|
| Pricing and Trading of Fixed-Income Securities | 11% | - Bond Markets
|
CSI Canadian Securities Course Exam 1 Sample Questions:
What is the normal shape of a yield curve?
- A. inverted
- B. Humped
- C. Downward slope
- D. Upward slops
Correct Answer: D 🗳️
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On what is the dividend rate for rate-reset preferred shares based?
- A. The three-month Government of Canada Treasury bill yield plus a spread
- B. The five-year Government of Canada bond yield plus a spread
- C. The preferred share issuer's senior bonds plus a spread
- D. The Dank at Canada's overnight rate plus a spread
Correct Answer: B 🗳️
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What is one at the advantages for the company when shares are publicly listed?
- A. Additional disclosure.
- B. Shareholders goodwill
- C. Need to keep market participants informed.
- D. Additional controls on management
Correct Answer: B 🗳️
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When a company issues a number of common shares, some of which areheld by institutional investors, what are the institutional investors' shares known as?
- A. Market capitalization shares.
- B. Outstanding shares.
- C. issued shares
- D. Public float shares.
Correct Answer: D 🗳️
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Which group is generally considered aprimary derivative dealer in the over-the-counter markets?
- A. Professional individual investors.
- B. insurance companies.
- C. Chartered banks.
- D. Commodity exporters.
Correct Answer: C 🗳️
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